DFX Intelligence
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Registered advisor
R•• D•••••• M•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
15 y
since Sep 28, 2010
In the industry
33 y
since Aug 6, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 28, 2010 · Houston, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 2, 2009 to Dec 7, 2009 · Houston, Tx
- F•••• I••••••••• A••••••• S•••••••• I••• unclassifiedMay 3, 2006 to Oct 2, 2009 · Houston, Tx
- C•••••••• F•••••••• G•••• A••••••• formerJan 30, 2006 to May 9, 2006 · Houston, Tx
- C••••••••• F•••••••• N•••••• national BDJan 2, 1998 to Dec 31, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- F•••• I••••••••• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 2, 2009, registered Oct 2, 2009 (0 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to F•••• I••••••••• A••••••• S•••••••• I•••left May 9, 2006, registered May 3, 2006 (-6 days) · Other
- C••••••••• F•••••••• N•••••• to C•••••••• F•••••••• G•••• A•••••••left Dec 31, 2003, registered Jan 30, 2006 (761 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address